Sandra M. Simon-bohn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sandra M Simon-bohn, who also goes by Sandra M Simon, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 2001. Sandra had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2012 - January 9, 2013
AXCELUS FINANCIAL DISTRIBUTION COMPANY
January 30, 2003 - July 16, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
December 13, 2002 - December 19, 2002
PRUCO SECURITIES, LLC.
April 25, 2001 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AXCELUS FINANCIAL DISTRIBUTION COMPANY
CRD#: 38383 / SEC#: , 8-48416
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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